-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KBw6lYfc4ZuuSSxYC33yt63h+xFTYAzMedkNNUQ1f+oASQDhGy6217RgPrpTbQ4v us/Hnps/HN67Az2uk8kNcQ== 0000950127-98-000079.txt : 19980211 0000950127-98-000079.hdr.sgml : 19980211 ACCESSION NUMBER: 0000950127-98-000079 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971205 FILED AS OF DATE: 19980210 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS & ACCESSORIES [3670] IRS NUMBER: 222746503 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-22175 FILM NUMBER: 98527033 BUSINESS ADDRESS: STREET 1: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 908271-909 MAIL ADDRESS: STREET 1: 394 ELIZABETH AVE CITY: SOMERSET STATE: NJ ZIP: 08873 COMPANY DATA: COMPANY CONFORMED NAME: BRENNAN THOMAS M CENTRAL INDEX KEY: 0000014049 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER IRS NUMBER: 155462589 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 5601-C MIDWAY PARK PLACE CITY: ALBUQUERQUE STATE: NM ZIP: 87109 BUSINESS PHONE: 5053431111 MAIL ADDRESS: STREET 1: 5601-C MIDWAY PARK PLACE CITY: ALBUQUERQUE STATE: NM ZIP: 87109 3 1 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 3 OMB APPROVAL OMB Number: 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response: 0.5 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* Last, First, Middle: Brennan, Thomas M. Street: c/o MicroOptical Devices, Inc. City, State, Zip: 5601-C Midway Park Pl., NE 2. Date of Event Requiring Statement (Month/Day/Year): 12/5/97 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol: EMCORE Corporation (EMKR) 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner ( x ) Officer (give title below) ( ) Other (specify below) Vice President If Amendment, Date of Original (Month/Day/Year) 7. Individual or Joint/Group Filing (Check Applicable Line) ( x ) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person * If the form is filed by more than one reporting person, see Instruction 5(b)(v).
Table I -- Non-Derivative Securities Beneficially Owned 1. Title of Security 2. Amount of Securities 3. Ownership Form: Direct (Instr. 4) Beneficially Owned (D) or Indirect (I) (Instr. 4) (Instr. 5) (1) Common Stock 225,987 D (2) Table I -- Continued 1. Title of Security 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 5) (1) Common Stock (2)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative 2. Date Exercisable 3. Title and Amount of Securities Security and Expiration Underlying Derivative Security (Instr. 4) Date (Instr. 4) (Month/Day/Year) Date Expiration Amount or Number Exercisable Date Title of Shares (1) Incentive Common Stock Immed. 7/01/06 Common Stock 23,263 Options (right to buy) (2) Incentive Common Stock (1) 7/01/06 Common Stock 16,616 Options (right to buy) (3) Incentive Common Stock Immed. 12/01/06 Common Stock 849 Options (right to buy) (4) Incentive Common Stock (2) 12/01/06 Common Stock 923 Options (right to buy) (5) Table II -- Continued 1. Title of Derivative 4. Conversion 5. Ownership Form 6. Nature of Indirect Security or Exercise of Derivative Beneficial Ownership (Instr. 4) Price of Security: (Instr. 5) Derivative Direct (D) Security or Indirect (I) (Instr. 5) (1) Incentive Common Stock $0.45 D Options (right to buy) (2) Incentive Common Stock $0.45 D Options (right to buy) (3) Incentive Common Stock $0.58 D Options (right to buy) (4) Incentive Common Stock $0.58 D Options (right to buy) (5)
Explanation of Responses: (1) These options vest in equal monthly installments through July 1999. (2) These options vest in equal monthly installments through December 1999. /s/Thomas G. Werthan February 6, 1998 Attorney-in-fact **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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